First Trust Small Cap Growth AlphaDEX Fund (FYC) Institutional Ownership

$119.63 -0.89 (-0.74%)

As of 08/31/2026 04:00 PM Eastern

Number of Institutional Buyers (last 12 months): 94
Total Institutional Inflows (last 12 months): $154.46M

Number of Institutional Sellers (last 12 months): 40
Total Institutional Outflows (last 12 months): $19.91M

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FYC Institutional Buying and Selling by Quarter

First Trust Small Cap Growth AlphaDEX Fund Major Shareholders & Ownership History

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Reporting Date	Major Shareholder Name	Shares Held	Market Value	% of Portfolio	Quarterly Change in Shares	Ownership in Company
8/24/2026	Carlson Financial Inc.	2,737	$349K	0.2%	-4.9%	0.025%
8/23/2026	Ameritas Advisory Services LLC	1,783	$227K	0.0%	-26.0%	0.017%
8/22/2026	Concurrent Investment Advisors LLC	99,023	$12.61M	0.1%	-1.4%	0.921%
8/21/2026	XML Financial LLC	2,950	$376K	0.0%	+22.9%	0.027%
8/21/2026	Bedel Financial Consulting Inc.	78,032	$9.94M	0.9%	+1.1%	0.726%
7/10/2026	Fulcrum Equity Management	1,959	$249K	0.2%	N/A	0.019%
7/10/2026	Redhawk Wealth Advisors Inc.	39,716	$5.06M	0.5%	N/A	0.384%
7/10/2026	Wealthcare Advisory Partners LLC	5,720	$728K	0.0%	N/A	0.055%
7/9/2026	World Equity Group Inc.	6,368	$811K	0.2%	+6.6%	0.062%
7/9/2026	Worth Asset Management LLC	2,484	$316K	0.1%	N/A	0.024%
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7/8/2026	Eclectic Associates Inc. ADV	158,288	$20.16M	2.3%	-0.6%	1.544%
7/7/2026	Paller Financial Services Inc	30,264	$3.85M	2.9%	-4.8%	0.295%
7/7/2026	M.E. Allison & CO. Inc.	1,745	$222K	0.1%	N/A	0.017%
7/7/2026	Willner & Heller LLC	9,093	$1.16M	0.7%	-1.3%	0.089%
7/7/2026	CoreCap Advisors LLC	372	$47K	0.0%	-23.9%	0.004%
6/18/2026	Western Wealth Management LLC	11,492	$1.11M	0.0%	+4.7%	0.123%
6/3/2026	NewEdge Advisors LLC	707	$69K	0.0%	-22.7%	0.008%
5/19/2026	Western Wealth Management LLC	11,492	$1.11M	0.0%	+4.7%	0.123%
5/19/2026	Bank of America Corp DE	244,266	$23.69M	0.0%	+21.2%	2.612%
5/19/2026	Arkadios Wealth Advisors	2,610	$253K	0.0%	N/A	0.028%
5/18/2026	Royal Bank of Canada	171,140	$16.60M	0.0%	+4.4%	1.830%
5/15/2026	Gateway Wealth Partners LLC	17,972	$1.74M	0.1%	+105.3%	0.192%
5/13/2026	Cetera Investment Advisers	289,684	$28.09M	0.0%	+13.6%	3.098%
5/8/2026	PNC Financial Services Group Inc.	92,515	$8.97M	0.0%	+20.5%	0.989%
5/7/2026	World Equity Group Inc.	5,973	$579K	0.1%	-3.1%	0.064%
5/5/2026	D.A. Davidson & CO.	10,735	$1.04M	0.0%	N/A	0.115%
5/5/2026	Geneos Wealth Management Inc.	20,549	$1.99M	0.0%	+41.8%	0.220%
5/4/2026	Bedel Financial Consulting Inc.	77,173	$7.48M	0.8%	+3.7%	0.825%
5/1/2026	Fifth Third Bancorp	6,147	$596K	0.0%	N/A	0.066%
4/30/2026	Kestra Advisory Services LLC	20,131	$1.95M	0.0%	+13.7%	0.215%
4/30/2026	Quantum Portfolio Management LLC	13,125	$1.27M	0.0%	-1.2%	0.140%
4/29/2026	Richmond Investment Services LLC	146,944	$14.25M	2.3%	+2.7%	1.572%
4/29/2026	Warner Group LLC	19,069	$1.85M	1.2%	+62.9%	0.204%
4/28/2026	Stephens Inc. AR	3,946	$383K	0.0%	+18.1%	0.042%
4/28/2026	Paller Financial Services Inc	31,793	$3.08M	2.6%	-2.4%	0.340%
4/27/2026	Private Advisor Group LLC	27,078	$2.63M	0.0%	+4.5%	0.290%
4/24/2026	Barnes Pettey Financial Advisors LLC	4,614	$447K	0.2%	+39.1%	0.049%
4/22/2026	Janney Montgomery Scott LLC	53,085	$5.15M	0.0%	+17.9%	0.574%
4/22/2026	Sylvest Advisors LLC	8,510	$825K	0.4%	+1.2%	0.092%
4/21/2026	Echo Wealth Management LLC	3,440	$334K	0.2%	-23.4%	0.037%
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4/21/2026	Independent Wealth Network Inc.	4,896	$475K	0.1%	-47.6%	0.053%
4/20/2026	Kestra Private Wealth Services LLC	3,588	$348K	0.0%	-7.7%	0.039%
4/17/2026	Certified Advisory Corp	19,637	$1.90M	0.2%	+2.3%	0.212%
4/17/2026	Stonebridge Financial Group LLC MO	3,840	$372K	0.3%	N/A	0.042%
4/16/2026	Founders Financial Securities LLC	9,795	$1.02M	0.1%	-44.2%	0.106%
3/17/2026	Rockefeller Capital Management L.P.	508	$49K	0.0%	-87.3%	0.006%
2/18/2026	NewEdge Advisors LLC	915	$88K	0.0%	+137.7%	0.010%
2/18/2026	IHT Wealth Management LLC	2,200	$211K	0.0%	N/A	0.024%
2/17/2026	Cetera Investment Advisers	255,008	$24.51M	0.0%	+13.6%	2.818%
2/17/2026	Equitable Holdings Inc.	55,876	$5.37M	0.0%	-5.5%	0.617%
2/17/2026	Osaic Holdings Inc.	93,138	$8.95M	0.0%	+26.0%	1.029%
2/17/2026	Advisory Services Network LLC	2,098	$202K	0.0%	+91.1%	0.023%
2/17/2026	&PARTNERS	14,221	$1.37M	0.0%	N/A	0.157%
2/17/2026	Blair William & Co. IL	325	$31K	0.0%	N/A	0.004%
2/17/2026	Royal Bank of Canada	163,957	$15.76M	0.0%	+14.0%	1.812%
2/16/2026	MML Investors Services LLC	66,703	$6.41M	0.0%	+1.3%	0.737%
2/16/2026	Mariner LLC	2,825	$272K	0.0%	+13.0%	0.031%
2/16/2026	Aptus Capital Advisors LLC	2,136	$205K	0.0%	N/A	0.024%
2/13/2026	Kestra Advisory Services LLC	17,709	$1.70M	0.0%	-0.8%	0.196%
2/13/2026	First Trust Advisors LP	216,354	$20.80M	0.0%	-12.0%	2.391%
2/13/2026	Golden State Wealth Management LLC	323	$31K	0.0%	-69.7%	0.004%
2/13/2026	Wells Fargo & Company MN	363,672	$34.96M	0.0%	+28.9%	4.018%
2/12/2026	Jane Street Group LLC	35,146	$3.38M	0.0%	-26.0%	0.388%
2/12/2026	Orion Porfolio Solutions LLC	4,184	$402K	0.0%	+10.5%	0.046%
2/12/2026	Richmond Investment Services LLC	143,085	$13.75M	2.4%	+2.6%	1.581%
2/12/2026	Index Technologies Group LLC	8,075	$776K	0.8%	N/A	0.089%
2/12/2026	Quantum Portfolio Management LLC	13,289	$1.28M	0.6%	-18.7%	0.147%
2/12/2026	Commonwealth Equity Services LLC	38,973	$3.75M	0.0%	+18.3%	0.431%
2/12/2026	Steward Partners Investment Advisory LLC	20,640	$1.98M	0.0%	+14.0%	0.228%
2/11/2026	Gateway Wealth Partners LLC	8,754	$841K	0.1%	+1.5%	0.097%
2/11/2026	Janney Montgomery Scott LLC	45,037	$4.33M	0.0%	+53.2%	0.498%
2/11/2026	Capital Analysts LLC	853	$82K	0.0%	-30.3%	0.009%
2/11/2026	LPL Financial LLC	1,183,630	$113.77M	0.0%	+43.0%	13.079%
2/11/2026	O Shaughnessy Asset Management LLC	2,302	$221K	0.0%	N/A	0.025%
2/10/2026	Clear Point Advisors Inc.	7,522	$723K	0.6%	-3.0%	0.083%
2/10/2026	Hazlett Burt & Watson Inc.	1,650	$158K	0.1%	+65.0%	0.018%
2/10/2026	Founders Financial Securities LLC	17,560	$1.69M	0.1%	N/A	0.194%
2/10/2026	Northwestern Mutual Wealth Management Co.	43,329	$4.17M	0.0%	+123.5%	0.479%
2/9/2026	Kingsview Wealth Management LLC	44,510	$4.28M	0.1%	-37.6%	0.492%
2/9/2026	Strategic Equity Management	9,374	$901K	0.3%	-7.6%	0.104%
2/9/2026	Harbour Investments Inc.	20,988	$2.02M	0.0%	+7.4%	0.232%
2/9/2026	Prospera Financial Services Inc	4,920	$473K	0.0%	-15.1%	0.054%
2/6/2026	Empirical Asset Management LLC	16,635	$1.60M	0.2%	+64.0%	0.184%
2/6/2026	Global Retirement Partners LLC	1,187	$114K	0.0%	+146.8%	0.013%
2/6/2026	IFP Advisors Inc	88,816	$8.54M	0.2%	-0.6%	0.981%
2/6/2026	PNC Financial Services Group Inc.	76,769	$7.38M	0.0%	+21.1%	0.848%
2/6/2026	Warner Group LLC	11,706	$1.13M	0.7%	+372.0%	0.129%
2/5/2026	Stephens Inc. AR	3,341	$321K	0.0%	+29.5%	0.037%
2/5/2026	Moneywise Inc.	12,738	$1.22M	0.5%	-50.4%	0.142%
2/5/2026	Western Wealth Management LLC	10,981	$1.06M	0.0%	+25.8%	0.123%
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2/5/2026	Proactive Wealth Strategies LLC	10,905	$1.05M	0.4%	+13.1%	0.122%
2/4/2026	Moneco Advisors LLC	13,703	$1.32M	0.1%	-1.1%	0.153%
2/3/2026	Eclectic Associates Inc. ADV	153,918	$14.79M	2.3%	+2.6%	1.720%
2/2/2026	Truist Financial Corp	13,614	$1.31M	0.0%	+38.2%	0.152%
2/2/2026	Benjamin Edwards Inc.	4,490	$435K	0.0%	-12.7%	0.050%
2/2/2026	Mutual Advisors LLC	3,439	$331K	0.0%	N/A	0.038%
2/2/2026	Oppenheimer & Co. Inc.	10,379	$998K	0.0%	+2.2%	0.116%
1/30/2026	Barnes Pettey Financial Advisors LLC	3,317	$319K	0.2%	N/A	0.037%
1/29/2026	Comerica Bank	5,923	$569K	0.0%	+56.0%	0.068%
1/29/2026	Ashton Thomas Private Wealth LLC	3,897	$375K	0.0%	+8.9%	0.045%

FYC Institutional Ownership - Frequently Asked Questions

During the previous two years, 153 institutional investors and hedge funds held shares of First Trust Small Cap Growth AlphaDEX Fund. The most heavily invested institutionals were LPL Financial LLC ($113.77M), Wells Fargo & Company MN ($34.96M), Raymond James Financial Inc. ($29.41M), Cetera Investment Advisers ($28.09M), Bank of America Corp DE ($23.69M), First Trust Advisors LP ($20.80M), and Eclectic Associates Inc. ADV ($20.16M).Learn more on First Trust Small Cap Growth AlphaDEX Fund's institutional investors.

Of the 137 institutional investors that purchased First Trust Small Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: LPL Financial LLC ($411.92K), Raymond James Financial Inc. ($329.55K), Wells Fargo & Company MN ($235.54K), Cetera Investment Advisers ($170.74K), Bank of America Corp DE ($164.77K), Eclectic Associates Inc. ADV ($153.92K), and Richmond Investment Services LLC ($122.80K).

Institutional investors have bought a total of 1,620,515 shares in the last 24 months. This purchase volume represents approximately $154.46M in transactions.

Of the 40 institutional investors that sold First Trust Small Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Bank of America Corp DE ($50.99K), First Trust Advisors LP ($38.53K), Kingsview Wealth Management LLC ($29.78K), Redhawk Wealth Advisors Inc. ($15.00K), Moneywise Inc. ($13.45K), Jane Street Group LLC ($12.37K), and Founders Financial Securities LLC ($7.77K).

Institutional investors have sold a total of 209,879 shares in the last 24 months. This volume of shares sold represents approximately $19.91M in transactions.

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Institutional ownership data for NASDAQ:FYC is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 8/24/2026. New 13F filings are added each quarter as they're published.

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First Trust Small Cap Growth AlphaDEX Fund (FYC) Institutional Ownership

FYC Institutional Buying and Selling by Quarter

First Trust Small Cap Growth AlphaDEX Fund Major Shareholders & Ownership History

FYC Institutional Ownership - Frequently Asked Questions

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First Trust Small Cap Growth AlphaDEX Fund (FYC) Institutional Ownership

Institutional Ownership Changes (13F Filings) for First Trust Small Cap Growth AlphaDEX Fund (NASDAQ:FYC)

FYC Institutional Buying and Selling by Quarter

First Trust Small Cap Growth AlphaDEX Fund Major Shareholders & Ownership History

FYC Institutional Ownership - Frequently Asked Questions

Who are the largest shareholders of FYC shares?

Which institutional investors have been buying First Trust Small Cap Growth AlphaDEX Fund's stock?

How much institutional buying is happening at First Trust Small Cap Growth AlphaDEX Fund?

Which of First Trust Small Cap Growth AlphaDEX Fund's major shareholders have been selling company stock?

How much institutional selling is happening at First Trust Small Cap Growth AlphaDEX Fund?

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